Andrew Surgan

Andrew Surgan is a Managing Director, Regulatory Compliance, Mortgage, and Operations Solutions at Treliant. Andrew has over 30 years of experience in regulatory compliance including 23 years in the broker dealer and investment banking industry. He has been a Chief Compliance Officer for several firms including U.S.-based and global broker dealers.

Prior to joining Treliant, Andrew was a Managing Director at Grant Thornton based in New York City for eight years, leading the regulatory compliance practice focused on broker dealer, investment advisor, and asset management clients. There, he advised U.S. and global clients on the enhancement of compliance programs, compliance risk assessments, regulatory mapping, regulatory remediation, and internal audit support to streamline compliance while meeting regulatory requirements and expectations. Previously, he was a Chief Compliance Officer at several bank/broker dealers including roles as Anti-Money Laundering Compliance Officer and Senior Counsel. His experience also includes senior compliance roles with global financial services firms such as Mitsubishi UFJ Financial Group, RBC Capital Markets, and Citigroup.

During his career, Andrew has interacted with regulators such as the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and Commodity Futures Trading Commission (CFTC) for over 25 years, helping firms remediate regulatory findings. In addition, he has created and implemented compliance programs, developed policies and procedures, and advised businesses on regulatory change management. Lastly, he has written and presented on such regulatory topics as off-channel communication, Regulation Best Interest, SEC Marketing Rule, and state rule mapping.

At Treliant, Andrew focuses on regulatory compliance for broker dealers, investment advisers, and other U.S. and global financial services firms, including adherence to FINRA, SEC, and CFTC rules and industry leading practice. Supporting all three lines of defense in risk management, he also assists clients in developing strategies and implementing solutions to improve the efficiency of their compliance and internal audit programs.

Andrew earned a JD from Brooklyn Law School, an MBA in Finance from Baruch College, and a BA from Hunter College. He has held the Series 7 and 24 licenses and Canadian Chief Compliance Officer license (all inactive).